Securities and Exchange Commission v. Nadel et al

Filing 1192

Declaration of M. Yip by Burton W. Wiand re 1190 MOTION for miscellaneous relief, specifically Motion to Overrule Objections to Claims 403, 404, 405, 406, 407, 408, and 477 Notice of Filing Declaration of Maria Yip (Attachments: # 1 Exhibit M. Yip Declaration, # 2 Exhibit Ex. 1 to M. Yip Declaration, # 3 Exhibit Ex. 2 to M. Yip Declaration, # 4 Exhibit Ex. 3 to M. Yip Declaration, # 5 Exhibit Ex. 4 to M. Yip Declaration, # 6 Exhibit Ex. 5 to M. Yip Declaration, # 7 Exhibit Ex. 6 to M. Yip Declaration, # 8 Exhibit Ex. 7 to M. Yip Declaration, # 9 Exhibit Ex. 8 to M. Yip Declaration, # 10 Exhibit Ex. 9 to M. Yip Declaration, # 11 Exhibit Ex. 10-1 to M. Yip Declaration, # 12 Exhibit Ex. 10-2 to M. Yip Declaration, # 13 Exhibit Ex. 11 to M. Yip Declaration, # 14 Exhibit Ex. 12 to M. Yip Declaration, # 15 Exhibit Ex. 13 to M. Yip Declaration, # 16 Exhibit Ex. 14 to M. Yip Declaration, # 17 Exhibit Ex. 15 to M. Yip Declaration, # 18 Exhibit Ex. 16 to M. Yip Declaration, # 19 Exhibit Ex. 17 to M. Yip Declaration, # 20 Exhibit Ex. 18 to M. Yip Declaration, # 21 Exhibit Ex. 19 to M. Yip Declaration, # 22 Exhibit Ex. 20 to M. Yip Declaration, # 23 Exhibit Ex. 21 to M. Yip Declaration, # 24 Exhibit Ex. 22 to M. Yip Declaration, # 25 Exhibit Ex. 23 to M. Yip Declaration, # 26 Exhibit Ex. 24 to M. Yip Declaration, # 27 Exhibit Ex. 25 to M. Yip Declaration, # 28 Exhibit Ex. 26 to M. Yip Declaration, # 29 Exhibit Ex. 27 to M. Yip Declaration, # 30 Exhibit Ex. 28 to M. Yip Declaration, # 31 Exhibit Ex. 29 to M. Yip Declaration, # 32 Exhibit Ex. 30 to M. Yip Declaration, # 33 Exhibit Ex. 31 to M. Yip Declaration, # 34 Exhibit Ex. 32 to M. Yip Declaration, # 35 Exhibit Ex. 33 to M. Yip Declaration, # 36 Exhibit Ex. 34 to M. Yip Declaration, # 37 Exhibit Ex. 35 to M. Yip Declaration, # 38 Exhibit Ex. 36 to M. Yip Declaration, # 39 Exhibit Ex. 37 to M. Yip Declaration, # 40 Exhibit Ex. 38 to M. Yip Declaration, # 41 Exhibit Ex. 39 to M. Yip Declaration, # 42 Exhibit Ex. 40 to M. Yip Declaration, # 43 Exhibit Ex. 41 to M. Yip Declaration, # 44 Exhibit Ex. 42 to M. Yip Declaration, # 45 Exhibit Ex. 43 to M. Yip Declaration, # 46 Exhibit Ex. 44 to M. Yip Declaration, # 47 Exhibit Ex. 45 to M. Yip Declaration, # 48 Exhibit Ex. 46 to M. Yip Declaration, # 49 Exhibit Ex. 47 to M. Yip Declaration, # 50 Exhibit Ex. 48 to M. Yip Declaration, # 51 Exhibit Ex. 49 to M. Yip Declaration, # 52 Exhibit Ex. 50 to M. Yip Declaration, # 53 Exhibit Ex. 51 to M. Yip Declaration, # 54 Exhibit Ex. 52 to M. Yip Declaration, # 55 Exhibit Ex. 53 to M. Yip Declaration, # 56 Exhibit Ex. 54 to M. Yip Declaration, # 57 Exhibit Ex. 55 to M. Yip Declaration, # 58 Exhibit Ex. 56 to M. Yip Declaration, # 59 Exhibit Ex. 57 to M. Yip Declaration, # 60 Exhibit Ex. 58 to M. Yip Declaration, # 61 Exhibit Ex. 59 to M. Yip Declaration, # 62 Exhibit Ex. 60 to M. Yip Declaration, # 63 Exhibit Ex. 61 to M. Yip Declaration)(Morello, Gianluca) Modified on 8/12/2015 (KMM).

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EXHIBIT 37 Case No.: 8:10-cv-77-T-17MAP et al. Analysis of Deposits and Disbursements Viking Master Fund, Ltd. AB Watley Account No. 69552214 For the Period June 2002 through December 2002 (Sorted in Chronological Order) Institution Account Name Account Number Bank Date (Payee)/Payor Amount A. B. WATLEY A. B. WATLEY A. B. WATLEY A. B. WATLEY A. B. WATLEY A. B. WATLEY A. B. WATLEY Viking Master Fund, Ltd. Viking Master Fund, Ltd. Viking Master Fund, Ltd. Viking Master Fund, Ltd. Viking Master Fund, Ltd. Viking Master Fund, Ltd. Viking Master Fund, Ltd. 69552214 69552214 69552214 69552214 69552214 69552214 69552214 06/05/02 06/05/02 06/07/02 06/28/02 06/28/02 06/28/02 07/09/02 Conversion Fr SLK Conversion Fr SLK Adjust Conversion Fr SLK Margin Interest Credit Interest Tefra with: Credit Interest Rvs Tefra WH Credit Interest A. B. WATLEY A. B. WATLEY Viking Master Fund, Ltd. Viking Master Fund, Ltd. 69552214 69552214 07/12/02 07/12/02 A. B. WATLEY A. B. WATLEY Viking Master Fund, Ltd. Viking Master Fund, Ltd. 69552214 69552214 07/15/02 07/15/02 A. B. WATLEY A. B. WATLEY Viking Master Fund, Ltd. Viking Master Fund, Ltd. 69552214 69552214 07/31/02 09/05/02 Check/Wire Fee Arthur Nadel DBA Viking Fund / Wachovia # 4984 Check/Wire Fee Arthur Nadel DBA Viking Fund / Wachovia # 4984 Margin Interest Viking Master Fund, Ltd. / Spear, Leeds & Kellogg #7AY6 A. B. WATLEY A. B. WATLEY A. B. WATLEY A. B. WATLEY A. B. WATLEY Viking Master Fund, Ltd. Viking Master Fund, Ltd. Viking Master Fund, Ltd. Viking Master Fund, Ltd. Viking Master Fund, Ltd. 69552214 69552214 69552214 69552214 69552214 09/09/02 09/09/02 09/17/02 09/17/02 09/25/02 Aug Maint Fee Rebate Spet Maintenance Fee Unknown Check/wire fee Viking Master Fund, Ltd. / Spear, Leeds & Kellogg #7AY6 50.00 (50.00) (25,000.00) (15.00) 150,000.00 A. B. WATLEY Viking Master Fund, Ltd. 69552214 09/26/02 (250,000.00) A. B. WATLEY A. B. WATLEY A. B. WATLEY A. B. WATLEY A. B. WATLEY Viking Master Fund, Ltd. Viking Master Fund, Ltd. Viking Master Fund, Ltd. Viking Master Fund, Ltd. Viking Master Fund, Ltd. 69552214 69552214 69552214 69552214 69552214 09/26/02 09/30/02 10/02/02 10/02/02 10/15/02 Arthur Nadel DBA Viking Fund / Wachovia # 4984 Check/wire fee Margin Interest Sept Maint Fee Rebate Oct Maint Fee Viking Master Fund, Ltd. / Spear, Leeds & Kellogg #7AY6 A. B. WATLEY A. B. WATLEY A. B. WATLEY Viking Master Fund, Ltd. Viking Master Fund, Ltd. Viking Master Fund, Ltd. 69552214 69552214 69552214 10/16/02 10/16/02 10/21/02 (380,000.00) (15.00) (50,000.00) A. B. WATLEY A. B. WATLEY Viking Master Fund, Ltd. Viking Master Fund, Ltd. 69552214 69552214 10/21/02 10/24/02 A. B. WATLEY A. B. WATLEY A. B. WATLEY A. B. WATLEY A. B. WATLEY A. B. WATLEY A. B. WATLEY Viking Master Fund, Ltd. Viking Master Fund, Ltd. Viking Master Fund, Ltd. Viking Master Fund, Ltd. Viking Master Fund, Ltd. Viking Master Fund, Ltd. Viking Master Fund, Ltd. 69552214 69552214 69552214 69552214 69552214 69552214 69552214 10/24/02 10/31/02 11/29/02 11/29/02 12/09/02 12/09/02 12/16/02 Unknown Check/wire fee Arthur Nadel DBA Viking Fund / Wachovia # 4984 Check/wire fee Victory Fund, Ltd. / Wachovia #4790 Check/wire fee Margin Interest Margin Interest Margin Interest Dec Maintenance Fee Nov Maint Fee Rebate Viking Fund, LLC / TradeStation Securities #9RS1 A. B. WATLEY A. B. WATLEY Viking Master Fund, Ltd. Viking Master Fund, Ltd. 69552214 69552214 12/16/02 12/17/02 Check/wire fee Viking IRA Fund, LLC / TradeStation Securities #0RS1 (15.00) (100,000.00) A. B. WATLEY Viking Master Fund, Ltd. 69552214 12/17/02 Check/wire fee Page 1 of 2 (4,324.41) 3,339,442.00 (8,377,920.00) (9,729.32) 194.54 (58.36) 58.36 (15.00) (40,000.00) (15.00) (150,000.00) (9,531.68) 150,000.00 (15.00) (6,801.15) 50.00 (50.00) 300,000.00 (15.00) (100,000.00) (15.00) (4,555.88) (2,002.00) (3,058.02) (50.00) 50.00 (100,000.00) (15.00) EXHIBIT 37 Case No.: 8:10-cv-77-T-17MAP et al. Analysis of Deposits and Disbursements Viking Master Fund, Ltd. AB Watley Account No. 69552214 For the Period June 2002 through December 2002 (Sorted in Chronological Order) Institution A. B. WATLEY Account Name Viking Master Fund, Ltd. Account Number 69552214 A. B. WATLEY A. B. WATLEY Viking Master Fund, Ltd. Viking Master Fund, Ltd. 69552214 69552214 Bank Date 12/20/02 12/20/02 12/31/02 (Payee)/Payor Viking IRA Fund, LLC / Bank of America #7521 Check/wire fee Margin Interest Sources: 1. Brokerage account statements. 2. Bank of America and Wachovia bank account statements including deposit slips, cancelled checks and wire detail. 3. QuickBooks files. Page 2 of 2 Amount (131,000.00) (15.00) (5,396.73)

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